hazardous materials inspection process• hazardous materials training modules version 5.1...

U.S. Department of Transportation

Pipeline and Hazardous Materials

Safety Administration

Hazardous Materials Inspection Process

Kimberly TaiSee Investigator, Southern Region

Field Operations

http://phmsa.dot.gov/hazmat

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Hazmat Shipments in the U.S.

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The U.S. Department of Transportation (DOT) currently lists approximately 3,000 hazardous materials (hazmat) descriptions – these materials, if accidentally or intentionally released, can pose risks to public health and safety, property, or the environment.

Over 800,000 Shipments Daily

3.1 Billion Tons Shipped Annually by All Modes

Hazardous Materials Support $446 Billion of

US Economy Annually




Office of Hazardous Materials Safety Mission

• “Protect the nation adequately against the risks to life and property which are inherent in the transportation of hazardous materials in commerce” [49 U.S.C. 5101]

• Ensures and promotes the safety, security and performance of the nations hazardous materials transportation system through its nationwide field operations.

• Operational activities that include compliance, incident and accident inspections and investigations; safety, performance and regulatory adequacy and fitness determinations; outreach, education and training activities; and reporting feedback, information and intelligence through its oversight of hazardous materials shippers, carriers and the manufacture, requalification, recondition, maintenance and use of hazardous materials packaging.

• To determine the adequacy and clarity of the regulations for which the hazardous material transportation activities are based.

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PHMSA Office of Hazardous Materials Safety (OHMS) Regional Offices

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Who does PHMSA Regulate?

• Shippers/Carriers (HAZMAT)

– Explosives

– Radioactive Materials

– Select Agents and Infectious Substances

– Lithium Batteries

– Waste

• Freight Forwarders

• Third-Party Labs

• Special Permit Holders

• Aerosol Fillers/Shippers

• Cylinder Requalifiers

• Agricultural Industry

– Nurse Tanks

• Packaging Manufacturers

– Tanks, Drums, IBCs, Cylinders, Boxes, etc…

• Packaging Self-Certifiers

• Packaging Reconditioners

• Distributors/Brokers

• High Hazard Entities

• Multi-Agency Strike Force Operations (MASFO)

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Why Me?

• Complaints

• High Risk (PIH/TIH)

• Investigations

• Re-Inspections

• Observations

• Incident History

• Fitness Review

• Registered Entity

• Abatements

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The Inspection Process

• Introduction

– Getting in the Door

– General Information/Overview

• Items Reviewed

– What are we looking for?

• Will vary depending on type of inspection

• Evidence Gathering

– Interviews, Documentation, Photographs, etc.

• Closing the Inspection

– Security Inspection Report, Exit Briefing, etc.

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The Inspection Process – Investigator Forms

• Inspection/Investigation Report

– Used to notate pertinent information during inspection

• Observation Forms

– Used to notate unique package specific markings and labeling

• Cylinder Requalification Facility Inspection Report

– Used as a guide for high and low pressure cylinder requalification inspections

• Written Statements

– Used to document the results of an interview

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The Inspection Process - Introduction

• Identification

• Purpose of Inspection

• PHMSA Overview

• General Info Gathering

– Representative

– Contact Info

– Federal Tax ID Number

• Company Profile

– What do you do?

• Manufacture, Test, Fill, Ship?

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The Inspection Process – Items Reviewed

• Observations

– Processes and Procedures

– Testing Equipment

– Manufacturing Equipment

– Packaging

– Marking and Labeling

– Training

– Registration

– Security Plan

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The Inspection Process – Evidence Gathering (Documentation)

• Package Certifications

• Production Records

• Closure Instructions

• Training Records

• Registration

• Invoices/Receiving Records

• Material Safety Data Sheets

• Requalification Records - 11 -




The Inspection Process – Evidence Gathering (Documentation)

• Shipping Papers

– Description/Sequence

– Quantity and Type

• Placards Required?

– Certification Statement

– Signature

– Emergency Response #

– Additional Information

• Special Permits, RQ, LTD QTY, Technical Names, etc.

– Retention (2 Years)

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Shipping Paper

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BOLSAMPLE.pdf




The Inspection Process – Evidence Gathering (Photographs)

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The Inspection Process – Closing the Inspection

• Security Inspection Report

– Required for certain Commodities and Quantities

– Verifies components of Security Plan

• Risk Assessment

• Personnel Security

• Unauthorized Access

• En-Route Security

– Security Awareness

• How to recognize and respond to a threat?

• Training Complete?

• Within 90 Days of Hire?

– In-Depth Security

• Training on your Security Plan

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Security Inspection Report

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Security Eval Form 110110.pdf




The Inspection Process – Closing the Inspection

• Exit Briefing

– A “Field Report” not a “Final Report”

– Used to summarize the inspection and notate “probable violations” and 49 CFR cites, if any

– Investigator will review document with company official and provide guidance with regard to deficiencies

– Request corrective action and refer to penalty guidelines

– Obtain signature(s) and provide copies

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Exit Briefing

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Fillable EXITBRF_SO_APRIL2011.pdf




Investigator Feedback

• Based on Experience

– Other Entity Comparisons (names omitted)

• Geared Toward

– Safety

– Overall Compliance

– Systemic Improvements

– Streamlining Operations

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The Inspection Process – Additional Docs

• PHMSA Organization Chart

• Title 49 Code of Federal Regulations (49 CFR)

• Hazardous Materials Training Modules Version 5.1

– Satisfies General Awareness training

• Hazmat DigiPack 7.2

– Satisfies Security Awareness training

• Penalty Guidelines (Appendix A to Subpart D of Part 107)

• DOT Chart 15 (Marking, Labeling, and Placarding guide)

• DOT Pamphlets (Security Plan, MOTS, Does Your Hazmat Training Measure Up?, etc.)

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Glad That’s Over – Now What???

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The Inspection Process – Next Steps

• Investigator returns to regional office to prepare inspection report

– Reviews inspection with Region Director

– Formalizes interviews, photos, documentation, etc.

– Documents facts and evidence

• Awaiting Corrective Action (within 30 Days)

– Attach to completed report and submit to Region Director

• Region Director will review report for validity, completeness, and determine that corrective actions are sufficient to prevent future occurrences and ensure compliance

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Inspection Results/Actions

• No Further Action

• Warning Letter

• Ticket for Non-Compliance

• Civil Penalty Case

– General Council

• Criminal Case

– General Council

– Office of Inspector General (OIG)

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Penalty Potential (per violation)

• Civil ($0 - $75,000); Up to $175,000 if death, illness or serious injury…

– Violation of a requirement as it relates to the… “transporting of a hazardous material, manufacture, fabrication, marking, maintenance, reconditioning, repair or testing of a hazardous materials packaging.”

• Criminal (up to $250,000 for an individual and $500,000 for a company and/or 5 years imprisonment)

– Willfully violating the hazardous materials regulations

– Unlawful altering, removal, defacing, destroying or otherwise tampering with any marking, labeling, placarding or packaging requirement

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Penalty Guidelines

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Penalty Guidelines.pdf




Common Problems Found During Inspections

• Failure to maintain training records

• Failure to train hazmat employees

• Package Closure

• Packages not properly marked and labeled

• Incorrect shipping papers

• Failure to register with PHMSA

• Lack of/or incomplete Security Plan

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OHMS Enforcement Page (http://phmsa.dot.gov/inspect-enforce)

• “PHMSA’s primary mission under the Federal Hazmat Transportation Law is to protect the nation adequately against the risks to life and property which are inherent in the transportation of hazardous materials in commerce”

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http://www.phmsa.dot.gov/hazmat/enforcement




File Complaint

• Promotes Safety

• High Priority

• Anonymous

• “What about that guy?!”

– Opportunity to identify unknowns/“bad guys”

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http://www.phmsa.dot.gov/phmsa-ext/feedback/hazmatComplaintsRegsViolationsForm.jsp




Hazardous Material Information Center

Hazardous Materials INFO-LINE

1-800-HMR49-22

(1-800-467-4922)

E-Mail: [email protected]

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PHMSA Organization Chart

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Questions???

Kimberly TaiSee

U.S. Department of Transportation Office of Hazardous Materials Safety - Field Operations Investigator, Southern Region 233 Peachtree Street NE, Suite 602 Atlanta, GA 30303

Telephone: 404-832-1140 Fax: 404-832-1168 E-mail: [email protected]

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